F N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-02706 Charles Schwab & Company, Inc., claimant vs. John D, Matz, respondent. ATTORNEYS: For Claimant, Charles Schwab & Company, Inc., appeared Corporate Attorney, Richard A. Karoly, Esq., San Francisco, CA. Respondent, John D. Matz, did not respond to the Statement of Claim. DATE FILED: June 14, 1999 CASE SUMMARY: Claimant alleged that respondent so

Arbitration N.A.S.O. AWARD NATIONftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Astociation o« Sacuritiaa Oaalara, Inc. -Suite 1680 Thrae First National Plaza Chicago, IL 60602 (312) 899-4440 Henry Halting Salzarulo Ira Rollover John W. Kenney, M.O. William A. Pagan, Jr. Larry B. Lahr Bruce McGill, Eric R. Spielhagen Rauscher Pierce Refsnes, Inc. Donaldson Lufkin 6 Jenrette Sec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betweenf Arbitration National Association of Securrbee Dealer*. Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Florida 33301 (305) 522-7391 Jan Vigeant and JAMI of Clearwater, Inc. of Integrated Resources Equity Corp. Mitchell v. Braun Case No. 89-01740 Heard before the members of the Arbitration Panel: George S. Coi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ) In the Hatter of the Arbitration Between ) ) Paul J. Abramscn Claimant ) ) v*. ) AWARD ) M. B. Vick & Company, Inc. and Respondents ) CASE NO. 89-01739 Peter Vick ) ) SUMMARY OF ISSUES This case was filed on June 14, 1989. Claimant Paul J. Abramson alleges that Respondents M. B. Vick & Co., Inc. and Peter Vick induced Claimant into investing in a certain common stock which was un

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: IRENE ROBBINS AND BERT SHEPHERD, TRUSTEES FOR THE DAVIS ROBBINS FAMILY TRUST AND THE DAVIS ROBBINS MARITAL TRUST CLAIMANTS V. PAINE WEBBER, INC., JOHN DAY, JERRY PAYNE, ARTHUR JAMES HUFF, BRUCE A. BURSEY, THOMAS P. HART, W. DAVID EAST AND DAVID L. ARNOLD RESPONDENTS AWARD #89-01737 CASE SUMMARY The Statement of Claim was filed on June 13, 1

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between Janes and Linda Engler vs, Claimant(s) 89-01734 J.C. Bradford & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(0) James and Linda Engler alleged that Respondent(s) J.C. Bradford & Co. misrepresented material facts regarding their retirement funds and mishandled their account. Respondent(s) maintain that Claimant has failed to

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among Eastern Jewelry Manufacturing Company, * Inc. and Witklag Reality * Case f89-01733 Award Claimants * Advest, Inc. * and Stuart Bockler Respondents * CASE SUMMARY Claimants, Eastern Jewelry Manufacturing Company and WitJclag Reality (-Claimants") alleged that Respondent, Stuart: Bockler placed claimants in unsuitable investments. Specifical

RATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. * In the Matter of the Arbitration Between/Among Fred C. Follmer and Sharon R. Foil flier vs. Claimants Shearson Lehman Mutton. Inc. and Andrew Weitz Respondent- Case 189-01731 AWARD r **»»»»**•»****»******••»»•*******»**+*******» CASE SUMMARY Claimants, Fred C. and Sharon R. Follmer alleged that Respondents, Shearson Lehman Mutton, Inc. and Andrew Heitz iproperly handled C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) CECIL R. & IVA M, COHEN ) Claimants ) and ) ) CASE NO. 89-01730 CHARLES SCHWAB & COMPANY, INC. ) ) Respondent ) CASE SUMMARY In a claim filed with the NASD on or about June 8, 1989, Claimants Cecil R. and Iva M. Cohen ("Claimants") alleged that they relied upon representations in the advertisements for Respondent Charles Schwab & Co., Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Richard P. Thomas and Caroline J. Thomas JTWROS Claimant}s) vs. 89-01729 Kennedy, Cabot & Co. Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Richard P. Thomas and Caroline J. Thomas JTWROS alleged that Respondent(s) Kennedy, Cabot & Co. failed to execute a transaction. Respondent(s) maintain that they did not solicit any